Compliance Analyst/Associate (Finance)

TL;DR

Compliance Analyst/Associate (Finance): Managing regulatory filings and trade surveillance for an Asia-focused asset management firm with an accent on risk mitigation and regulatory adherence. Focus on developing compliance frameworks, detecting market abuse, and coordinating regional regulatory projects.

Location: Must be based in Hong Kong (onsite)

Company

Asia public markets-focused asset management firm offering hedge fund and long-only strategies.

What you will do

• Handle license applications, regulatory filings, and reports.
• Develop, implement, and administer the Group compliance framework and policies.
• Monitor and surveil trading activities to detect and prevent market abuse and insider trading.
• Investigate trade surveillance alerts and escalate potential issues to stakeholders.
• Work on regional projects, including system UAT and new investment model discussions.
• Conduct ad-hoc inspections and respond to regulatory requests.

Requirements

• University degree in Business, Finance, or Law.
• At least 2 years of experience in compliance, preferably in brokerage or asset management firms.
• Fluency in English and Japanese.
• Proficiency in MS Office (Excel) and Bloomberg.
• Strong analytical, problem-solving, and interpersonal communication skills.

Nice to have

• Proficiency in Python or VBA.

Culture & Benefits

• Centrally located office in the heart of Hong Kong.
• High-growth environment with ambitious professionals and global exposure.
• Paid annual leave and medical group insurance.
• In-built gym facility.
• Professional learning and development opportunities.